former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
agenda was to discuss fundraising for business expansion, as earlier appeared on a newspaper, was entirely unfounded, while in fact he knew fully well that the fundraising had already been considered by
} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
Exchange and entirely dedicated to sustainability-focused financial instruments such as bonds and funds to facilitate information access for investors. SEC is planning to develop an information platform
who conspired to manipulate the ABC price (as detailed in SEC News No. 59/2018, dated 7 June 2018). Of this group, one offender has already signed a statement of consent and fully paid his civil penalty
. The SEC has significantly improved the level of implementation of the IOSCO Principles, with 35 out of the total 37 areas being assessed as fully or broadly implemented. Such results reflect that the
investors? decision making. Meanwhile, the suspension of the cooling period will be lifted only after CHEWA completely clarifies and provides equal and identical information in the IPO filing as that given in
Following the announcement of BX (which formerly operated in digital asset exchange business) that its business operations will completely shut down on 3 April 2020 which means it will stop
investors correctly and completely and without sufficiently notifying or giving information that was important and relevant to investors’ decision making, in contravention of the Notification concerning